In the Media

The DI Wire (October 30, 2023)  The Public Investors Advocate Bar Association, a 501(c)(6) non-profit international bar association, and its sister 501(c)(3) charitable organization, the PIABA…
Financial Planning (October 28, 2023) By Brian Wallheimer There are a lot of numbers bandied about when it comes to expungement. The biggest and most important might be the 90% rate at which brokers…
Business Law Prof Blog(October 26, 2023) - By Benjamin P. Edwards PIABA, the Public Investor Advocate Bar Association, and the PIABA Foundation released a new report on FINRA expungement earlier…
ThinkAdvisor (October 25, 2023) By Ryan W. Neal What You Need to Know Brokers' requests to expunge client complaints from their public records are granted at an astonishing rate, the lawyers' group…
Financial Advisor IQ (October 25, 2023) By Jake Martin An investor advocacy group is urging state securities regulators to pool their resources to participate in and oppose brokers’ expungement…
Finance Feeds (October 25, 2023) By Rick Steves A study, which analyzed 2,506 “straight-in” expungement awards—cases where brokers seek the removal of customer complaints against their own firms—…
MSN via Barron's (October 24, 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has…
Barron's (October 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has been abused,…
AdvisorHub (October 24, 2023) - A group of plaintiff lawyers is seeking to capitalize on reforms put in place this month by the Financial Industry Regulatory Authority to curtail the sky-high success…
WealthManagement (October 24, 2023) - But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.   The Financial Industry Regulatory…